Compliance Specialist
Summary
- Job Category:
- General Administration
- Job Title:
- Compliance Specialist
- Job Category Definition:
- This Job Category provides advisory support to senior management and/or the University-wide community including areas such as strategic planning, project management, risk management, compliance assurance, finance/budget, human resources, facilities/space planning, information technology, constituent/Board relations and/or legal counsel. May lead these activities and/or supervise employees responsible for these areas.
- Job Title Definition:
- The Compliance Specialist develops, implements, and oversees programs to ensure compliance with required protocols, regulations, and laws such as research protections and integrity, conflicts of interest, contract compliance and grant compliance; reviews federal and state requirements, researches protocols, and other government, local, and University mandates to ensure that the University and its employees are in compliance with these regulations; updates procedures and policies to ensure fulfillment of current and new regulatory obligations; develops, conducts, and maintains mandated training and education programs; provides guidance and recommendations to administration, faculty, staff, and students in area of expertise; develops and maintains records for regulatory compliance; initiates investigations and/or routine monitoring for program compliance and/or in response to reports of non-compliance or concerns; responds to notifications of unsafe conditions, contract non-compliance, or other discrepancies and reports findings to compliance committees, administration, federal agencies and/or other mandated entities, as required and/or appropriate; reviews new regulations to determine impact on the institution and applicable faculty, staff, or students; consults and interacts with other institutions, federal agencies and other entities outside of the University to discuss best practices, compliance concerns, or regulation interpretation; serves on University, professional, and/or governmental advisory groups, committees or organizations; may supervise other staff positions. Duties are performed at various levels within the defined categories.
- Working Conditions:
- Specific physical requirements and effort are outlined in Job Responsibilities Worksheet (list of essential job duties and responsibilities specific to a particular job at the unit level) in accordance with the Americans with Disabilities Act of 1990 (ADA).
- Other Requirements:
Levels
Level 1
| Job Code | Salary Band | FLSA Status |
|---|---|---|
| ADEA0301 | G | Non-Exempt |
Level 1 positions typically demonstrate baseline working knowledge of routine work applications; follow standard principles and systems and use appropriate terminology associated with a particular field of specialization; participate as a team member in a collaborative environment within a diverse workforce; actively contribute to completion of team goals and assigned tasks; clearly communicate information, ideas, or instructions verbally and in writing; follow recommended approach to assigned work to facilitate achievement of desired results; ensure safe practices and environmental consciousness are exhibited in decisions; typically work under direct and frequent supervision while performing routine duties using established procedures with detailed instructions.
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2+ years of related experience Associate's Degree or higher Or an equivalent combination of education and experience |
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This profile is intended to indicate the kinds of tasks and levels of work difficulty that will be required of positions in this job title and should not be construed as declaring what the specific duties and responsibilities of any particular position shall be. It is not intended to limit or in any way modify the right of any supervisor to assign, direct, and control the work of employees under his/her supervision. The use of a particular expression or illustration describing duties should not be held to exclude other duties not mentioned that are of a similar kind or level of difficulty.
Level 2
| Job Code | Salary Band | FLSA Status |
|---|---|---|
| ADEA0302 | I | Exempt |
Level 2 positions typically demonstrate intermediate knowledge of the concepts, practices and procedures of a particular field of specialization; perform intermediate tasks in defined skill areas/applications by continuously building on current job knowledge; maintain effective relationships with peers, vendors, and others in a diverse environment; support team decisions and follow through with team responsibilities; interpret information, ideas and instructions and communicate clearly and accurately both verbally and in writing including materials intended for distribution; determine causes of unusual occurrences and apply standard principles and practices to determine and implement solutions; ensure safe practices and environmental consciousness are exhibited in decisions; typically work under general supervision, while performing assignments that are varied and that may be somewhat difficult in character, but usually involve limited responsibility.
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2+ year of related experience Bachelor's Degree or higher Or an equivalent combination of education and experience |
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This profile is intended to indicate the kinds of tasks and levels of work difficulty that will be required of positions in this job title and should not be construed as declaring what the specific duties and responsibilities of any particular position shall be. It is not intended to limit or in any way modify the right of any supervisor to assign, direct, and control the work of employees under his/her supervision. The use of a particular expression or illustration describing duties should not be held to exclude other duties not mentioned that are of a similar kind or level of difficulty.
Level 3
| Job Code | Salary Band | FLSA Status |
|---|---|---|
| ADEA0303 | J | Exempt |
Level 3 positions typically demonstrate proficient and comprehensive knowledge of defined skill areas/applications to integrate fundamental elements from other specialties into work assignments; apply knowledge of principles, practices, and procedures of a particular field of specialization to complete difficult assignments; promote a culture that is conducive to effective relationships among diverse team members; ensure safe practices and environmental consciousness are exhibited in decisions; may lead a project team involved in completion of difficult assignments, requiring proficient knowledge of field of specialization; interpret and communicate information, ideas and instructions clearly, accurately and persuasively both verbally and in writing including materials intended for distribution; incorporate new facts and ideas into group processes and apply creative thinking to develop new solutions; typically work with minimal supervision on difficult assignments, conferring with manager on unusual matters.
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4+ years related experience Bachelor's Degree or higher Or an equivalent combination of education and experience |
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This profile is intended to indicate the kinds of tasks and levels of work difficulty that will be required of positions in this job title and should not be construed as declaring what the specific duties and responsibilities of any particular position shall be. It is not intended to limit or in any way modify the right of any supervisor to assign, direct, and control the work of employees under his/her supervision. The use of a particular expression or illustration describing duties should not be held to exclude other duties not mentioned that are of a similar kind or level of difficulty.
Level 4
| Job Code | Salary Band | FLSA Status |
|---|---|---|
| ADEA0304 | K | Exempt |
Level 4 positions typically demonstrate advanced knowledge of principles, practices, and procedures of a particular field of specialization and complete complex assignments; integrate complex elements from other specialties into work assignments; demonstrate a strong commitment to inclusionary practices which support diversity throughout the University; establish a shared vision and take responsibility for the achievement of team goals, and provide direction for appropriate implementation of plans; present ideas, concepts and instructions in a clear manner, and use persuasion and negotiation to build consensus and cooperation; ensure safe practices and environmental consciousness are exhibited in decisions; develop new techniques, concepts, theories, programs or solutions and apply them to complex strategic operating issues; typically work independently on complex work assignments, review progress and evaluate results and update management as appropriate; may direct and delegate work to lower-level staff.
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6+ years related experience Bachelor's Degree or higher Or an equivalent combination of education and experience |
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This profile is intended to indicate the kinds of tasks and levels of work difficulty that will be required of positions in this job title and should not be construed as declaring what the specific duties and responsibilities of any particular position shall be. It is not intended to limit or in any way modify the right of any supervisor to assign, direct, and control the work of employees under his/her supervision. The use of a particular expression or illustration describing duties should not be held to exclude other duties not mentioned that are of a similar kind or level of difficulty.
Level 5
| Job Code | Salary Band | FLSA Status |
|---|---|---|
| ADEA0305 | L | Exempt |
Level 5 positions typically demonstrate awareness of broad issues and management trends and evaluate the impact of policy and procedure changes and adjust accordingly; apply management principles to ensure optimal performance throughout organization; ensure appropriate skills are developed and maintained at all levels of responsibility and realign staff responsibilities to meet desired changes in organization and/or University mission; develop plans, practices and efforts to ensure optimal support or diversity, safety, and environmental consciousness throughout the University; demonstrate high level of diplomacy in persuading and influencing a wide variety of people at various levels and locations to achieve results; develop and implement solutions to highly complex and often controversial problems that may have University-wide impact and establish new precedents for solving problems; develop and articulate broad goals and objectives for unit with multi-functions or University-wide impact; develop, evaluate, enhance, and/or implement quality improvement practices, processes, procedures, or policies that have a strategic impact on University operations
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8+ years of related experience Bachelor's Degree or higher Or an equivalent combination of education and experience |
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This profile is intended to indicate the kinds of tasks and levels of work difficulty that will be required of positions in this job title and should not be construed as declaring what the specific duties and responsibilities of any particular position shall be. It is not intended to limit or in any way modify the right of any supervisor to assign, direct, and control the work of employees under his/her supervision. The use of a particular expression or illustration describing duties should not be held to exclude other duties not mentioned that are of a similar kind or level of difficulty.